DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
N•••••••• I••••••••• A••••••• L••
Latest filing Apr 24, 2026
First filing on the tape Nov 5, 2021 · 15 filings
SEC status approved since Dec 7, 2021
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$0 as of Apr 24, 2026
Feb 21, 2025$0 then
HNW client RAUM$0 as of Apr 24, 2026
Mar 30, 2022$0 then
State-registered IARs (5.B.3)9 as of Apr 24, 2026
Mar 30, 20220 then
Employees (5.A)10 as of Apr 24, 2026
Mar 30, 202215 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 9offices 11 to 9
Practice profile
derived from the filing of Apr 24, 2026; every figure names its basis
Archetypes, each a printed rule
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2,729derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 0.9derived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +38%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, educational seminarsreportedItem 5.G
- Financial planning clients
- 24,560reportedItem 5.H
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 24,560reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 24,560reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• P•••Certified Financial Planner | Fresno, Ca | Apr 11, 2022 | 10 y | 1 |
| E••• D••••••Certified Financial Planner | Morris Plains, Nj | Apr 25, 2022 | 10 y | 0 |
| C••••••••• S•••••• P••••Certified Financial Planner, Chartered Financial Consultant | Peoria, Az | May 24, 2022 | 15 y | 3 |
| J••• A••• G••••••Certified Financial Planner | West Hollywood, Ca | Jan 12, 2024 | 25 y | 2 |
| M•••••• C•••• H••••• | East Bethel, Mn | Mar 5, 2024 | 28 y | 1 |
| C•••••••• L• R••••••Certified Financial Planner | West Hollywood, Ca | Jan 8, 2025 | 11 y | 3 |
| M•••••• J•••• G•••••••••Certified Financial Planner | Gilbert, Az | May 13, 2026 | 16 y | 3 |
| K••• L•• P•••••Certified Financial Planner | Scottsdale, Az | May 14, 2026 | 12 y | 4 |
| D•••• V•• M•••• V•Certified Financial Planner | Lawrenceville, Ga | Sep 1, 2026 | 12 y | 2 |
Advisor movement
4 left, 2 joined in 12 months
net -2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 44% of current headcount9 left over 36 months
Left, latest
- D•••• M••••••• F••••••• to E••••• F•••••••• N••••••• I•••May 8, 2026 · Other
- J••• B•••• S•••• to D••••• M•••• A•••••••• L••Mar 4, 2026 · Other
- J•••• A••••• M••••• to D••••• M•••• A•••••••• L••Dec 10, 2025 · Other
- C••• M•••••• W••••• to D••••• M•••• A•••••••• L••Nov 6, 2025 · Other
- V••••••• E• F••••••• to M••••• G••••• A••••••• I•••May 22, 2025 · Other
- A•••••••• L••••• to F••••••• F•••••••• P•••••••Feb 5, 2025 · Other
- V••••••• T••••• to E•••••••Jul 29, 2024 · Other
- C•••••• G••• M••••• to S•••••• C•••••• L••Jul 29, 2024 · Other
- A•••••• J••••• P••••• to E•••••• A••••••• G••••• L••Mar 1, 2024 · Other
- J••• D•••••• H••• to E•••••• F•••••••• E••••••Jun 22, 2023 · Other
- G••• F•••••• T••••••• to I••••••••• C•••••• M••••••••• L••Jun 22, 2023 · Other
- S•••••• J•••• F•••••• to S••• F••••••••Jun 22, 2023 · Other
- C••••• J•••• P••• to P••• W••••• P•••••••• L••Jun 22, 2023 · Other
- A•••• M•••••• B••• to P•••••• I••••••••• M••••••••• G•••• I••Dec 15, 2022 · Other
Joined, latest
- D•••• V•• M•••• V• from W•••• F•••• A•••••••Sep 1, 2026 · Other
- M•••••• J•••• G••••••••• from A•••• F••••••••May 13, 2026 · Other
- C•••••••• L• R•••••• from C••••••• A•••••••• I•••Jan 8, 2025 · Other
- V••••••• E• F••••••• from D•••••• A•••••••Jan 8, 2025 · Other
- A•••••••• L••••• from L••••• G•••• W••••• M•••••••••Apr 11, 2024 · Other
- C•••••• G••• M••••• from G•••••• S•••• W••••• S•••••••• L•••Dec 16, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- J••• B•••• S•••• from N••••••••• M••••• I••••••••• S•••••••••Sep 15, 2022 · Other
- J••• D•••••• H••• from E•••••• A••••••• G••••• L••Aug 5, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• M••••••• F••••••• from R••••••• F•••••••• P•••••••Aug 5, 2022 · Other
- C••••••••• S•••••• P•••• from V••••••• A•••••••• I•••May 24, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- A•••• M•••••• B••• from F••••May 16, 2022 · RIA to a newly registered adviser
- J••• A••• G•••••• from A••••• F•••••••• A•••••••• L••May 11, 2022 · RIA to a newly registered adviser
- J•••• A••••• M••••• from D•••••• A•••••••Apr 25, 2022 · RIA to a newly registered adviser
- A•••••• J••••• P••••• from J••• H•••••• I••••••••• M••••••••• L••Apr 25, 2022 · Other
- C••• M•••••• W••••• from D•••••••• F•••••••• A•••••••• L••Apr 19, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• W••••••• W•••••• · Chief Executive Officercontrolsince 06/2021 · owns less than 5%
- P••••• C••••••••• S•••••• · Directorcontrolsince 11/2021 · owns less than 5%
- P•••• W••••••• W•••••• · Ownercontrolsince 10/2016 · owns 75% or more of W•••• I•••
- G••••••••• S•••••• J••• · Chief Compliance Officersince 05/2023 · owns less than 5%
Entity owners
- W•••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| West Hollywood, Ca · principal | 3 | 0 | 1 | ||
| New York, Ny | 0 | 0 | 0 | ||
| Provo, Ut | 0 | 0 | 1 | ||
| Arvada, Co | 0 | 0 | 0 | ||
| Sodus Point, Ny | 0 | 0 | 1 | ||
| White Plains, Ny | 0 | 0 | 0 | ||
| San Francisco, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Lubbock, TX1 employees
- Syracuse, NY1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 12 to 9Jan 7, 2026 to Feb 10, 2026
- Individual clients · 17,809 to 24,560Jan 7, 2026 to Feb 10, 2026
- Employees · 13 to 10Jan 7, 2026 to Feb 10, 2026
- State-registered IARs · 0 to 9Jan 7, 2026 to Feb 10, 2026
- Other offices · 11 to 9Jan 7, 2026 to Feb 10, 2026
- Accounts · unset to 0.0Sep 10, 2024 to Feb 21, 2025
- Advisory employees · 11 to 12Sep 10, 2024 to Feb 21, 2025
- Individual clients · 15,137 to 17,809Sep 10, 2024 to Feb 21, 2025
- Employees · 12 to 13Sep 10, 2024 to Feb 21, 2025
- Financial planning clients · More than 500 to More than 500Sep 10, 2024 to Feb 21, 2025
- Discretionary RAUM · unset to 0.0Sep 10, 2024 to Feb 21, 2025
- Non-discretionary RAUM · unset to 0.0Sep 10, 2024 to Feb 21, 2025
- RAUM · unset to 0.0Sep 10, 2024 to Feb 21, 2025
- Advisory employees · 20 to 11May 30, 2023 to Feb 22, 2024
- Individual clients · 13,888 to 15,137May 30, 2023 to Feb 22, 2024
- Employees · 20 to 12May 30, 2023 to Feb 22, 2024
- Other offices · 21 to 11May 30, 2023 to Feb 22, 2024
- Advisory employees · 15 to 20Nov 21, 2022 to Mar 31, 2023
- Individual clients · 2,233 to 13,888Nov 21, 2022 to Mar 31, 2023
- Employees · 15 to 20Nov 21, 2022 to Mar 31, 2023
- Other offices · 15 to 21Nov 21, 2022 to Mar 31, 2023
- Individual clients · 5,651 to 2,233Nov 5, 2021 to Mar 30, 2022
- Other offices · 0 to 15Nov 5, 2021 to Mar 30, 2022
Signals
20 dated events
- D•••• M••••••• F••••••• left N•••••••• I••••••••• A••••••• L•• for E••••• F•••••••• N••••••• I••• (registered 2026-06-25)May 8, 2026 · Advisor changed firm · fact
- J••• B•••• S•••• left N•••••••• I••••••••• A••••••• L•• for D••••• M•••• A•••••••• L•• (registered 2026-04-14)Mar 4, 2026 · Advisor changed firm · fact
- J•••• A••••• M••••• left N•••••••• I••••••••• A••••••• L•• for D••••• M•••• A•••••••• L•• (registered 2025-12-17)Dec 10, 2025 · Advisor changed firm · fact
- C••• M•••••• W••••• left N•••••••• I••••••••• A••••••• L•• for D••••• M•••• A•••••••• L•• (registered 2025-11-18)Nov 6, 2025 · Advisor changed firm · fact
- V••••••• E• F••••••• left N•••••••• I••••••••• A••••••• L•• for M••••• G••••• A••••••• I••• (registered 2025-06-09)May 22, 2025 · Advisor changed firm · fact
- A•••••••• L••••• left N•••••••• I••••••••• A••••••• L•• for F••••••• F•••••••• P••••••• (registered 2024-08-13)Feb 5, 2025 · Advisor changed firm · fact
- C•••••• G••• M••••• left N•••••••• I••••••••• A••••••• L•• for S•••••• C•••••• L•• (registered 2024-08-06)Jul 29, 2024 · Advisor changed firm · fact
- V••••••• T••••• left N•••••••• I••••••••• A••••••• L•• for Ellevest (registered 2023-05-01)Jul 29, 2024 · Advisor changed firm · fact
- A•••••• J••••• P••••• left N•••••••• I••••••••• A••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2024-03-19)Mar 1, 2024 · Advisor changed firm · fact
- N•••••••• I••••••••• A••••••• L•• reported 11 offices beyond its principal office, down from 21 (2023-05-30 to 2024-02-22)Feb 22, 2024 · Office count change · derived
- G••• F•••••• T••••••• left N•••••••• I••••••••• A••••••• L•• for I••••••••• C•••••• M••••••••• L•• (registered 2023-09-01)Jun 22, 2023 · Advisor changed firm · fact
- C••••• J•••• P••• left N•••••••• I••••••••• A••••••• L•• for P••• W••••• P•••••••• L•• (registered 2023-09-06)Jun 22, 2023 · Advisor changed firm · fact
- S•••••• J•••• F•••••• left N•••••••• I••••••••• A••••••• L•• for S••• F•••••••• (registered 2025-01-09)Jun 22, 2023 · Advisor changed firm · fact
- J••• D•••••• H••• left N•••••••• I••••••••• A••••••• L•• for E•••••• F•••••••• E•••••• (registered 2023-09-18)Jun 22, 2023 · Advisor changed firm · fact
- Jean Stacey Gillespie (Chief Compliance Officer) appeared on Schedule A of N•••••••• I••••••••• A••••••• L••May 24, 2023 · Control person joined · fact
- N•••••••• I••••••••• A••••••• L•• reported 21 offices beyond its principal office, up from 15 (2022-11-21 to 2023-03-31)Mar 31, 2023 · Office count change · derived
- A•••• M•••••• B••• left N•••••••• I••••••••• A••••••• L•• for P•••••• I••••••••• M••••••••• G•••• I•• (registered 2022-12-16)Dec 15, 2022 · Advisor changed firm · fact
- J••••• Kim (Chief Compliance Officer) no longer on Schedule A of N•••••••• I••••••••• A••••••• L•• (listed 2022-03-30, absent 2022-08-05)Aug 5, 2022 · Control person left · inference
- N•••••••• I••••••••• A••••••• L•• reported 15 offices beyond its principal office, up from 0 (2021-11-05 to 2022-03-30)Mar 30, 2022 · Office count change · derived
- N•••••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 5, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- northstarmoney.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 708-306-9566reportedpublic record, Form ADV, Apr 24, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- No RAUM reportedderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026